John Small
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Small JR, who also goes by John Small, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 17 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - July 28, 2015
FAIRBRIDGE CAPITAL MARKETS
April 17, 2013 - October 28, 2021
ANDES CAPITAL GROUP, LLC
March 30, 2012 - March 6, 2013
GREENTREE BROKERAGE SERVICES, INC.
July 10, 2009 - July 8, 2010
GREENTREE BROKERAGE SERVICES, INC.
January 18, 2008 - July 1, 2009
SECURITY CAPITAL BROKERAGE, INC.
June 3, 2005 - January 8, 2008
JACKSON SECURITIES LLC
July 17, 2002 - June 8, 2005
BEREAN CAPITAL INCORPORATED
December 3, 2001 - July 24, 2002
HARVESTONS SECURITIES, INC.
July 24, 2001 - November 13, 2001
THE MALACHI GROUP, INC.
May 10, 2000 - July 20, 2001
MORGAN STANLEY DW INC.
May 26, 1998 - October 9, 1998
MAY, DAVIS GROUP INC.
April 7, 1997 - April 29, 1997
GRAICAP, INC
October 29, 1996 - April 10, 1997
R. H. YORK & COMPANY, INC.
April 4, 1995 - April 27, 1995
UNITED DANIELS SECURITIES, INC.
October 12, 1990 - October 24, 1994
LUTHER, SMITH & SMALL, INC.
September 19, 1988 - July 23, 1990
THE CHAPMAN CO.
March 4, 1988 - September 28, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
June 4, 1986 - May 18, 1988
FINANCIAL ESTATE PLANNING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/23/2024
General Securities Representative ExaminationSeries 6TO
Date: 6/23/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FAIRBRIDGE CAPITAL MARKETS
CRD#: 103818 / SEC#: , 8-52351
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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